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Field Compliance Manager - NORTH OF ENGLAND

Field Compliance Manager - NORTH OF ENGLAND

Posted 5 July by Yes Agency

Role is with a UK WIDE INSURER

Job Summary

Reporting to the Field Consultancy Manager, the filed based Compliance Consultant will be responsible for effective delivery of the field-based suite of support services and the clients allocated to you.

Providing proactive compliance consultancy to service clients, presenting compliant solutions, including appropriate remedial action and encouraging any business development or new opportunities to support the business to implement the agreed strategy.

Core Responsibilities

  • Contribute to the overall business strategy as part of the Compliance Consultancy team
  • Support the Field Consultancy Manager to devise and implement compliance initiatives and solutions to ensure first class delivery of service to clients
  • Organise and manage the delivery and provision of consultancy services to own client allocation and other projects as required by the business
  • Provide client servicing and consultancy services to best market standard
  • Deliver effective practical compliance, supervisory and training support to clients, to ensure they maintain and enhance compliance standards
  • Build a sound reputation with clients that encourages recognition of the value of the relationship and facilitates the purchase of additional services where appropriate
  • Provide relevant management information including accurate and reasoned conclusions to the Field Consultancy Manager to ensure effective operational monitoring
  • Shared ownership of accuracy and integrity of Prospect/CRM/time recording systems.

Core Activities

  • Support senior management team with, resource planning, strategy development and identifying opportunities for cross-selling or increasing penetration.
  • Comply with processes and procedures for field-based consultancy service delivery that underpin and support the business strategy.
  • Take opportunities, both proactive and reactive, to develop innovative ideas and seek additional business from existing clients on an un-targeted basis.
  • Develop and maintain effective and proactive open working relationships with clients and specifically allocated relationship managed firms.
  • Ensure own diary management to provide clients with the required support.
  • Provide clients with pragmatic and proportionate advice, including considered recommendations, alternative compliance solutions and appropriate remedial action in order to comply with FCA requirements or to enhance or improve internal systems and add value through service delivery.
  • Undertake a comprehensive review of client queries in relation to their compliance arrangements.
  • Deliver effective practical training and competence support to clients to ensure they can meet their regulatory and business requirements as required.
  • Prepare detailed coherent solutions, project plans, reports and RAG rated action plans for clients to enable them to maintain and enhance their compliance standards as required.
  • Negotiate client renewals and manage risk for allocated clients.
  • Be able to identify trends and breach of regulatory compliance.
  • Keep knowledge and skills up to date, maintaining appropriate CPD records to demonstrate such and react positively to guidance provided by your manager.
  • Present at Compliance events as required.
  • Attend appropriate training sessions and team meetings as required.
  • Be flexible in your arrangements as the role requires a degree of travel.


  • Experience in a financial services compliance role (preferably GI Sector).
  • Previous experience working in relevant sector
  • Good understanding and knowledge of FCA Rules and Principles and able to research complex issues in-depth relevant to the client base and business strategy.
  • Able to recognise the impact of internal and external factors on business risks.
  • Able to organise own diary/workload in order to meet commitments and Manday targets
  • Able to work independently to achieve agreed objectives.
  • Strong problem-solving skills, mathematical, quantitative and analytical skills.
  • Good written and oral communication and presentation skills to stakeholders.
  • Detailed knowledge of products and services throughout the business and an awareness of its competitors.
  • Proactive team player.

Essential Qualifications

  • Educational attainment at degree level desirable
  • Relevant experience in a similar role of at least 3 years

Desirable Qualifications

  • Willing to work towards core industry and other relevant qualifications e.g. Cert Cii, DIP Cii, ACII or other general insurance qualification
  • Willing to work towards compliance qualification
  • Willing to work towards Supervisory qualification

Required skills

  • Financial Services
  • General Insurance
  • Compliance Experience

Reference: 45240284

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